Regulation Best Interest (Reg BI) - Where Are We Now?
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - November 03, 2020 13:00 - 14 minutes - 10.1 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
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On October 26, 2020 the SEC hosted a Reg BI/Form CRS roundtable event. Oyster CEO Buddy Doyle and Consultant Evan Rosser took this opportunity to add their input about where regulators are when enforcing Reg BI, and what we are hearing from our clients. Reg BI is an ongoing compliance requirement, and now is the time for firms to take a look at the feedback from the regulator s, their customers and their sales force. Listen to learn what regulators are looking at, what other firms are doing and what your firm should be doing to comply with Reg BI.